ANTONIO D. MOSBY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTONIO D. MOSBY CRD No. 5700585, Respondent. Disciplinary Proceeding No. 2009020767901 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 30, 2010 INTRODUCTION Disciplinary Proceeding No. 2009020767901 was filed on October 20, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). On or about December 21, 2010
Reference 2009020767901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5700585

Other names1

Also known as1

ANTONIO DEMETRIOUS MOSBY

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